The Financial Industry Regulatory Authority (FINRA) is ‘encouraging’ broker-dealers to keep it informed about their activities involving digital assets... The Financial Industry Regulatory Authority (FINRA) is ‘encouraging’ broker-dealers to keep it informed about their activities involving digital assets. Under Notice 20-23, FINRA is requesting that broker-dealers keep their Risk Monitoring...
Scarinci Hollenbeck’s Corporate Transactions and Business practice group regularly provides content on various aspects of FINRA. To receive our attorneys’ FINRA articles please subscribe to our email list.
Client Alert: SEC and FINRA issue Regulatory Relief During COVID-19 Pandemic
On March 23, 2020, the National Society of Compliance Professionals (“NSCP”) convened regulators and industry experts to discuss regulatory guidance...
Third Circuit Rules Broker’s Forum Selection Clause Doesn’t Override FINRA Arbitration
The Third Circuit Court of Appeals Recently Held that a Forum Selection Clause in a Brokerage Agreement Doesn't Negate a...
What to Know About New FINRA Sanction Guidelines
FINRA Recently Announced Revisions to its Sanction Guidelines On May 2, 2018, The Financial Industry Regulatory Authority (FINRA) announced revisions...
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